James E. Cannon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Edward Cannon was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2010 - April 2, 2012
CRESCENT SECURITIES GROUP, INC.
March 3, 2008 - March 2, 2010
COMMERCE SECURITIES CORPORATION
January 18, 2008 - February 19, 2008
JOHN THOMAS FINANCIAL
October 3, 2003 - January 24, 2008
RIVERSTONE WEALTH MANAGEMENT, INC.
March 22, 2000 - May 13, 2003
OXFORD FINANCIAL GROUP
December 22, 1993 - July 14, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CRESCENT SECURITIES GROUP, INC.
CRD#: 114993 / SEC#: , 8-53457
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
